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QUALCOMM INC/DE — Director's Dealing 2018
May 8, 2018
10546_dirs_2018-05-08_2ae75271-e6c0-420e-b1be-143dfaa869de.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: QUALCOMM INC/DE (QCOM)
CIK: 0000804328
Period of Report: 2018-05-05
Reporting Person: THOMPSON JAMES H (EVP, Engineering & CTO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-05-05 | Common Stock | M | 10902 | $0.0 | Acquired | 97258 | Direct |
| 2018-05-05 | Common Stock | M | 14363 | $0.0 | Acquired | 111621 | Direct |
| 2018-05-05 | Common Stock | F | 5406 | $52.49 | Disposed | 106215 | Direct |
| 2018-05-05 | Common Stock | F | 7121 | $52.49 | Disposed | 99094 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-05-05 | Restricted Stock Unit | $ | M | 10902.0056 | Disposed | 2019-05-05 | Common Stock (10902.0056) | Direct |
| 2018-05-05 | Restricted Stock Unit | $ | M | 14363.4503 | Disposed | 2019-05-05 | Common Stock (14363.4503) | Direct |
| 2018-05-06 | Restricted Stock Unit | $ | A | 55852.2909 | Acquired | 2020-11-20 | Common Stock (55852.2909) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3135 | Indirect |
Footnotes
F1: Shares are held in individual trusts for the benefit of the reporting person's children. Dr. Thompson disclaims all beneficial ownership for the shares held in trusts for the benefit of his children.
F2: Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
F3: The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on May 5, 2017, 2018 and 2019.
F4: These Restricted Stock Units were granted subject to performance vesting and service vesting requirements. On May 6, 2018, the Compensation Committee certified that the performance vesting conditions were satisfied.
F5: These Restricted Stock Units include an initial grant of 54,815 Restricted Stock Units, plus dividend equivalents accrued through the transaction date in the form of additional Restricted Stock Units that vest and are paid at the same time and in the same manner as the underlying Restricted Stock Units.
F6: The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2018, 2019 and 2020.